Junior Compliance Analyst: Training & Mentorship (Hybrid)

Optima Partners; San Francisco (CA); Hybrid; USD 64,000 - 78,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Optima Partners in San Francisco is seeking a Compliance Analyst for a 2-year hands-on training program, working with seasoned consultants and gaining exposure to investment management compliance topics. The role is full-time with a hybrid schedule (3 days on-site per week) in San Francisco, offering a total compensation of $71,000 annually and a mentorship program.

Requirements include a Bachelor’s degree (Master’s or JD a plus), eligibility to work in the U.S., and strong communication,

Qualifications

• Bachelor's degree from an accredited college or university (Master's or JD a plus).
• Authorized to work in the United States.
• Excellent written and verbal communication skills.
• Highly organized, self-motivated, and detail-oriented.
• Strong analytical and research skills.
• Ability to manage multiple projects in a fast-paced, collaborative environment.

Responsibilities

• Monitor expert network interactions and employee personal trading
• Review and archive employee communications (email/chat)
• Maintain employee disclosure forms and assist clients with organizing regulatory books and records
• Conduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activities
• Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation
• Contribute to annual compliance reviews and mock regulatory exams
• Help register clients as investment advisers or broker‑dealers with U.S. regulatory authorities
• Prepare and file required quarterly and annual regulatory submissions (e.g., Form ADV, Form U4)
• Support clients during regulatory exams and inquiries

Skills

Communication skills

Organizational skills

Analytical skills

Research skills

Multitasking

Education

Bachelor's degree

Master's or JD a plus

Job description

Optima Partners in San Francisco is seeking a Compliance Analyst for a 2-year hands-on training program, working with seasoned consultants and gaining exposure to investment management compliance topics. The role is full-time with a hybrid schedule (3 days on-site per week) in San Francisco, offering a total compensation of $71,000 annually and a mentorship program.

Requirements include a Bachelor’s degree (Master’s or JD a plus), eligibility to work in the U.S., and strong communication,